PLI’s Fintech and Regtech in the Financial Services Industry: Current Issues for Investment Advisers and Broker-Dealers 2025
- 11.19.2025 | 1:00 PM - 4:30 PM
Tiffany J. Smith, Partner and Co-Chair of the Blockchain & Cryptocurrency Working Group, will speak on the panel “Regulatory Round-Up—SEC, FINRA and Related Rulemaking” at PLI’s Fintech and Regtech in the Financial Services Industry: Current Issues for Investment Advisers and Broker-Dealers 2025. Panelists will explore the SEC’s evolving approach to fintech and regtech for broker-dealers and advisers, equipping participants to anticipate upcoming rules, understand regulatory overlaps, and assess enforcement priorities.
